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Securities Firms

Broker-Dealers | Investment Advisors

Securities and insurance compliance, all in one. Advisor risk management at a glance.

Integrated securities and insurance credential management for Broker-Dealers and Investment Advisory Firms

Leveraging Vertafore's proven track record of regulatory and technology innovation, Sircon® solutions help securities firms eliminate operational costs, better manage risk, and adhere to regulations by automating the processes essential to keeping brokers / advisors / agents both compliant and authorized to sell.

Manage disclosures, securities registrations, insurance licenses and supervision hierarchy in one secure, scalable SaaS product for a complete 360° view of your advisors.

We help securities firms


Save Money

Reduce
Compliance Risk

Improve the
Advisor Experience

Sircon Software Solutions Service Solutions
BD / IA
Products
Sircon Disclosure Management CMS G2 Licensing & Registration Services

Advisor self-service portal

OBA & PST disclosure management

Securities registration & education management

Multi-carrier relationship & sales authorization management

Insurance licensing & education management

BD / IA Products
Sircon Disclosure Management CMS G2 Licensing & Registration Services
Advisor self-service portal
OBA & PST disclosure management
Securities registration & education management
Multi-carrier relationship & sales authorization management
Insurance licensing & education management

RESOURCES

Sircon® Solutions for BDs and IAs Brochure

Securities and insurance credentialing, together at last.

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Sircon® Licensing and Registration Services Brochure

Augment your Sircon solutions with flexible service options.

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SUCCESS STORY

"Since we started using Vertafore to handle regulatory compliance, we have shortened turnaround times by 75%, which enabled us to improve productivity and boost revenue without adding staff. Our top-selling reps really appreciate that we spare them the hassle of all the administrative tasks involved."

Vice President,
Midwest Securities broker